Personnel Hong Kong SFC License Details (ID 2200257)

Personnel Hong Kong SFC License Details (ID 2200257)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Ark Securities (Hong Kong) Limited	Rep	Asset management	2016-12-30	2020-04-06
	Rep	Advising on securities	2016-07-19	2020-04-06
PROVIDENT FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2016-07-19	2020-04-06
Ark Securities (Hong Kong) Limited	Rep	Dealing in securities	2015-10-02	2020-04-06
PROVIDENT FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2015-10-02	2020-04-06
KARL-THOMSON SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2014-07-08	2015-09-14
Quam Securities Limited	Rep	Dealing in securities	2014-01-24	2014-06-14